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RBC资本市场

争议事件

以下收录公开来源中与该品牌相关的争议事件。列出一条并不表示过错已经证实。

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  1. 2019

    美国商品期货交易委员会因非法交易对RBC资本市场处以罚款

    罚款或处罚

    美国商品期货交易委员会因导致非法交易及其他违规行为的失误，对RBC资本市场处以670万美元罚款。监管机构称该公司至少进行了385笔非竞争性、虚假或非法交易。RBC表示此事已解决，并称已采取措施防止问题再次发生。

    美国商品期货交易委员会因导致非法交易及其他违规行为的失误，对RBC Capital Markets处以670万美元罚款。监管机构称该公司至少进行了385笔非竞争性、虚假或非法交易。RBC表示此事已解决，并称已采取措施防止问题再次发生。

    品牌回应

    • 整改 — RBC Capital Markets

      We have enacted a number of measures to prevent this issue from recurring, including improved surveillance and additional training.

    来源摘录

    • TORONTO — RBC Capital Markets has been fined $6.7 million by the U.S. Commodities and Futures Trading Commission for failures that resulted in unlawful trades and other violations between at least late 2011 and May 2017.
    • Between December 2011 and October 2015, RBC Capital Markets (RBCCM), a unit of Canada’s biggest lender, Royal Bank of Canada, engaged in at least 385 non-competitive, fictitious or unlawful trades, the CFTC said in a statement.
    • This matter has been resolved and we continue to remain committed to complying with regulatory requirements,” a spokeswoman for RBC said by email on Thursday. “We have enacted a number of measures to prevent this issue from recurring, including improved surveillance and additional training.
    来源